Sr Knowledge Specialist

Job Summary - Senior Transaction Processing Executive Officer - Email Review Electronic Communication Surveillances - L2 Escalation US Client Skills and Qualification - Candidate should have minimum 1 to 5 Years of work experience in E-communication Mail Surveillance - L2 Reviews preferably within a broker-dealer investment adviser or asset management firm Comprehensive knowledge of FINRA and SEC regulations related to communications with the public marketing advertising and complaints reporting Ability to research and analyze electronic communications by using problem-solving and decision-making skills to differentiate between issues and non-issues while researching cases and history related to issues Proficiency with proof-point surveillance platform is a plus Key Skills Deliverables The primary responsibility is to review electronic communications to identify potential violations of FINRA and SEC regulations including but not limited to communications with the customer complaints Outside Business Activity marketing and advertising Investigate and review flagged L2 escalation emails in a timely manner and ensure potential violations are promptly escalated or clear non-issues emails by following established protocols and procedures Collaborate with other e-Surveillance and Compliance team members to address identified issues and support the resolution of escalated matters Maintain up-to-date knowledge of applicable FINRA and SEC regulatory requirements as well as company policies related to communications monitoring Utilize research analytical and organizational skills to document findings and ensure records are accurate and comprehensive Provide clear and concise communication of findings and recommendations to internal stakeholders Support audits and regulatory inquiries by providing documentation and insights needed Sound Analytical Quick Learning ability Zeal to learn new things 100 Accurate work required as Errors will have financial impacts from Client and their Customer side Flexible to work in US Shift Working Hours should be flexible to do Over Time duty if requirement arises Working From Office Technical Non-Technical Skills Excellent MS Office skills - MS Excel Power Point Excel Macros and E Mail Drafting Good Typing Speed of 28 WPM with 95 accuracy Excellent Communication skills - to Review Email to attend Client Calls Onshore Training etc Behavioral Skills Strictly US Shift Working Hours - should be flexible to do Over Time duty if required Punctual and adherence to attendance and Leaves To report to Team Lead and follow the Instructions and the HR Policies as per Company Certifications Needed Education 12 3 Degree Education is mandatory - B Com BBA and BBM Graduates preferred however Candidate with good work experience but with other Specialization can be looked into to some extent Only Additional Certification on Stock Market Subjects US Regulatory Bodies is added advantage No Tech Graduates - BE B Tech M Tech Expected Competencies Interpersonal Effectiveness Candidate should be a team player and demonstrate required aptitude and attitude towards work and the Team Service Orientation Candidate should be Customer Centric and committed to deliver the best to Customers and the Business About Mphasis Mphasis applies to next-generation technology to help enterprises transform businesses globally Customer centricity is foundational to Mphasis and is reflected in the Mphasis Front2Back TM Transformation approach Front2Back TM uses the exponential power of cloud and cognitive to provide hyper-personalized C X2C2TM 1 digital experience to clients and their end customers Mphasis Service Transformation approach helps shrink the core through the application of digital technologies across legacy environments within an enterprise enabling businesses to stay ahead in a changing world Mphasis core reference architectures and tools speed and innovation with domain expertise and specialization are key to building strong relationships with marquee clients About Company Mphasis is a leading IT solutions provider offering Applications Business Process Outsourcing BPO and Infrastructure services globally through a combination of technology knowhow domain and process expertise The accolades we have been garnering can be attributed to our undeterred focus in delivering quality solutions across verticals that meet the challenging requirements of our esteemed customers We have been recently felicitated by the economic times as the most distinguished digital company 2015 We have also been ranked 29 of 100 largest financial technology vendors by American Banker and BAI in the FinTech Forward Top 100 rankings